The Intermediate Compliance Officer (CO) works with other Compliance Department staff to ensure that the continuous supervision of the firm's business units meet regulatory requirements. The Chief Compliance Officer assigns tasks and duties to the CO. This position will report to the CCO located in Toronto.
Job Type / Category
- Complete daily and monthly reviews of client and pro activity for IA's and Branch Managers (branches assigned by the CCO and/or VP). These reviews are to be completed in accordance with IIROC minimum standards and MRCC's procedures as stated in the supervision section of the MRCC Policies and Procedures Manual. All reviews must be logged on the designated spreadsheets and filed in the appropriate directory in the Compliance shared drive.
- Ensure that required actions arising from reviews are completed within reasonable timeframes and records are appropriately filed in the central location within the Compliance Department.
- Coordinate/escalate the aforementioned reviews with the ABM or BM, as required.
- Review, on a daily basis, the actions taken by the ABM/BM in relation to daily and monthly supervisory activities.
- Review and approve marketing materials, in accordance with IIROC's requirements and MRCC's Policies and Procedures Manual.
- Review and investigate Third Party requests, in order to establish risk and regulatory compliance.
- Provide back-up assistance for new account approvals and NCAF updates, as assigned when the ABM and/or BM is unavailable.
- Attend regulatory or educational conferences and seminars, as required.
- Ensure that industry knowledge is kept up to date by reviewing regulatory web sites and taking additional courses, as recommended by the CCO or VP.
- Manage and execute any compliance or risk related task as assigned by the CCO or VP.
Required Education, Skills and Qualifications
- Career oriented; work well individually or as part of a team atmosphere
- Skilled in Microsoft Office 10
- Quick learner adept to grasping new technologies and processes
- Organized, focused and capable of working under tight deadlines
- Discreet and experienced in handling confidential information
- Keen problem-solving skills with the ability to think quickly on your feet
The CO must have a good understanding of the brokerage industry, the regulatory environment applicable to IIROC Dealer Members, and IIROC's Dealer Member Rules and Universal Market Integrity Rules. Completion of the following courses is a requirement:
Completion of the following courses is considered an asset:
In 1921, Mackie Research Capital Corporation was formed into what is today, one of Canada's largest, independent, full-service investment firms. From the pre-boom markets of the early 20's through the crash of '29, Mackie Research Capital Corporation has demonstrated that our innovative, entrepreneurial formula has created a successful model for brokers in the industry, weathering even the most challenging market conditions.
Job Type: Full-time
- Compliance: 5 years (Preferred)